SEC Form 4 · accession 0001144204-15-033026
CALADRIUS BIOSCIENCES, INC. · CLBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew L Pecora
Director
Period of report
May 19, 2015
Accepted (ET)
May 21, 2015 · 9:00 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000320017
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1 | May 19, 2015 | A | 925 | $0.00 | A | 343,675 | D | |
| Common Stock, $0.001 par valueF1 | May 21, 2015 | A | 1,354 | $2.30 | A | 345,029 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents the Reporting Person's one third percentage of the contingent shares of common stock, par value $0.001 per share, of NeoStem, Inc. (the "Company"), which was issued in accordance with the terms of the Agreement and Plan of Merger, dated July 13, 2011, between the Company and Amorcyte, Inc. (the "Merger Agreement").
- F2Effective August 15, 2013, the Issuer's Board of Directors approved an arrangement whereby the Reporting Person shall receive a portion of his net salary through the issuance to him by the Issuer of shares of the Issuer's common stock, $.001 par value (the "Common Stock") at the then-market price at the time of issuance, under and subject to the terms and conditions of the Issuers' Amended & Restated 2009 Equity Compensation Plan (the "Plan").